Our Staff has compiled our research into a database of FINRA Broker Disclosures for Barclays Capital Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Arthur Arutiunian | 6151453 | 1 | 04/28/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Robert Rosulek | 4855194 | 1 | 03/22/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charlene Ann Berry | 2677018 | 1 | 06/07/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jane Lepham | 6080180 | 1 | 05/31/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Grant Timothy Petito | 6509721 | 1 | 01/29/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Hermina Batson | 5914131 | 2 | 05/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hermina Batson | 5914131 | 2 | 05/31/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kamal Ahmed | 2532063 | 1 | 05/28/2011 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Carol Pedersen Mathis | 4322657 | 3 | 02/24/2011 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Scott Benjamin Eichel | 3159964 | 1 | 07/19/2010 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |